Asset & Wealth Management Operations - Data Governance & Strategy - Analyst - Bengaluru
2 weeks ago
ASSET & WEALTH MANAGEMENT OPERATIONS
At Goldman Sachs, we empower clients and customers worldwide to achieve their financial goals. Our advisor-led wealth management businesses provide comprehensive advice, financial planning, investment management, banking, and more to a diverse range of clients, including high net worth individuals, family offices, foundations, and corporations.
OPERATIONS
Operations is a dynamic function that partners with all parts of the firm to deliver banking, securities, and asset management services globally. We provide essential risk management and controls to preserve and enhance the firm's assets and reputation.
Within Operations, Asset Wealth Management (AWM) delivers asset management and wealth management capabilities worldwide. We partner with the Investment Management Division to support evolving markets and business requirements.
YOUR IMPACT
As a Quality Assurance (QA) professional, you will play a vital role in safeguarding the firm by completing detailed client data quality reviews. You will partner with Compliance, work with the Client Implementation and Maintenance Team, and ensure that all regulatory and internal protocols are followed for our clients.
OUR IMPACT
QA is a highly regulated team that focuses on account document, data integrity, risk management, and regulatory requirements. We work closely with PWM teams, PWM Compliance, PWM Legal, and other Operations groups to ensure accurate data and compliance with regulatory obligations.
JOB SUMMARY & RESPONSIBILITIES
- Conduct QA checks on completed new and existing client KYC files as per established quality frameworks and meet required SLAs.
- Verify client data, understand end-to-end KYC operations from documentary and non-documentary verification, and ensure compliance with CIP policy, nature of business, SOW/SOF, PEP Analysis, and more.
- Review ownership unwrapping, related parties, and policy requirements.
- Maintain awareness of regulatory updates and incorporate process changes in the KYC review process.
- Complete QA reviews in a timely manner, maintaining the highest quality standards.
- Resolve issues through coordination with PWM CIM Operations, Compliance, and PWM Management.
- Provide expertise on policy and procedures.
- Manage and lead discussions on exceptional cases.
- Assist in preparing MIS reports and PPT decks for senior management.
- Develop strategic automated solutions to manual processes.
- Make recommendations on process improvements to increase efficiency and accuracy.
- Framing procedures and checklists for existing/new processes.
- Conduct training for operations teams, coach junior team members, and provide guidance in exception handling.
BASIC QUALIFICATIONS
- 2+ years of relevant work experience in KYC/AML/CDD - QA/QC/Client Onboarding/Periodic review in other banks/KPOs.
- Strong analytical, problem-solving, decision-making skills, attention to detail, and risk-focused mindset.
- Overall understanding of the client lifecycle process and various account structures.
- Ability to independently review, analyze, and identify errors/discrepancies in KYC/CDD files.
- Ability to interpret and understand end-to-end KYC/CDD policy, procedure requirements, and terminologies.
- Ability to effectively manage internal and external stakeholders.
- Absolute discretion when dealing with confidential matters.
- Ability to multi-task and prioritize accordingly.
- Team player with flexibility and adaptability to change.
- Knowledge of MS Office (Word, Excel, etc.).
- Excellent interpersonal skills, both written and oral.
- Professional certifications such as CAMS, ICAI Certification on KYC/AML/Basic CDD/Advanced CDD would be an advantage.
- Meticulous, with the ability to work under pressure and tight timelines.
ABOUT GOLDMAN SACHS
We commit our people, capital, and ideas to help our clients, shareholders, and communities grow. Founded in 1869, we are a leading global investment banking, securities, and investment management firm. Headquartered in New York, we maintain offices worldwide.
We believe who you are makes you better at what you do. We're committed to fostering and advancing diversity and inclusion in our own workplace and beyond by ensuring every individual within our firm has opportunities to grow professionally and personally.
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